Associate Consultant - Leadership Hiring at Crescendo Global
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Senior Manager - Compliance - BFSI - CS/CA/LLB (10-15 yrs)
Senior Manager - Compliance
Legal job opportunity in Gurgaon for a professional holding at least 10 to 15 years- experience in Legal domain. You will use your experience in legal regulations, compliance reviews, audits & overall compliances to ensure smooth functioning and adherence in the organisation. Our client is looking for a professional eager to grow their career in as a Manager Compliance position. If this sounds exciting, apply with us!
Location : Gurgaon
Your Employer :
A leading financial services firm providing retirement and life insurance solutions for protection and long-terms services.
- Formulating process of tracking and closing compliance issues
- Preparing work papers documenting the audit procedures performed and prepare reports
- Carrying / conducting out independent and in-depth compliance reviews for Corporate Agents, HO Functions, Branch Offices and Third party service providers
- Reporting key compliance outages in various management committees and Board subcommittees like Audit Committee/Risk Committee
- Being able to close looping of completed reviews with respective process owners / branch heads for review closures
- Creating and updating model code of conduct for investment professionals as per SEBI insider trading Regulations and IRDAI Investment regulations
- Providing Trade Approvals from CCO to the connected persons within policy specified TAT
- Managing execution of Quarterly Compliance Checklists (QCCs) along with analysis of the completed QCCs to gauge adherence levels to compliance requirements in various branch offices and corporate agents
- Practicing compliance engagement with Business Partners
- Creating Compliance Awareness through awareness, and communications
- Providing Classroom Training to employees and agents through New Hire Induction, SP Training Platforms and Online Training etc.
- CS/CA/LLB (CS compulsory)
- 10 - 15 years of experience in legal domain and in compliance
- Experience in dealing with legal authorities is must
- Stakeholder management
- Reporting and reviewing compliance
What is in Store for You?
- An opportunity to define, lead and coordinate the operations of the company.
- An opportunity to work with a blue- chip firm in a high visibility role as a part of the leadership team.
- Work in a fast-paced environment in and established brand in financial services industry.
- A stimulating working environment with colleagues from top-tier institutes
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